One of the UK's most successful, award-winning Financial Planning groups has partnered with Vision-FS Recruitment to find a suitable Compliance Consultant for its rapidly expanding team. The 30-year old business specialises in giving expert retirement advice to it's vast number of clients across the UK.
Reporting to the Adviser Support Section Leader, the Compliance Consultant's core function is to review and assess the quality of evidence within the client's records in respect to the suitability and compliance across Investments, Insurance and Mortgage products. The Compliance Consultant role allows for home-working (2 days per week).
The Compliance Consultant's daily duties will include:
1. To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements and identify and require remedial action from members firms where necessary.
2. To identify any breaches or misconduct by firms and individual and report any training/compliance failures to the section leader.
3. To provide feedback and prepare action plans for firms and individuals following any assessment of client advice.
4. To provide guidance to firms and individuals in setting up and maintaining good record keeping practices in relation to advice and services deliver to clients.
5. To provide feedback to other departments within the Company and to take remedial action to ensure that satisfactory relationships ...